Jolie A. Bales

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CRD#: 4695851

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jolie Ann Bales, who also goes by Jolie Ann Harrison, Jolie Ann Olson, was a registered financial professional .

Jolie is a previously registered financial professional and started their career in finance in 2003. Jolie had worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jolie Ann Harrison | Jolie Ann Olson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

UST SECURITIES CORP.

CRD#: 13906

STAMFORD, CT

Past

July 12, 2005 - October 19, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SAN FRANCISCO, CA

Past

January 24, 2005 - October 19, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

September 2, 2003 - May 28, 2004

RFS PARTNERS

CRD#: 18119

DENVER, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ARTIENCE CAPITAL MANAGEMENT, LLC

ARTIENCE CAPITAL MANAGEMENT, LLC | CAPITAL360 GROUP LLC | CAPITAL 360 GROUP, LLC

CRD#: 150762 / SEC#: 801-128601

RIA

Registered Investment Advisory firm - (9/25/2023 Approved)

California

Registered Investment Advisory firm - (11/29/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/11/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/4/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/20/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/27/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ARTIENCE CAPITAL MANAGEMENT, LLC

ARTIENCE CAPITAL MANAGEMENT, LLC | CAPITAL360 GROUP LLC | CAPITAL 360 GROUP, LLC

CRD#: 150762 / SEC#: 801-128601

RIA

Registered Investment Advisory firm - (9/25/2023 Approved)

California

Registered Investment Advisory firm - (11/29/2023 Terminated)

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Contact information

Main Address

Gardnerville, NV

Mailing Address

P.o. Box 777, Genoa, NV 89411

Phone number

(800) 337-0353

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ARTIENCE CAPITAL ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	113
AUM (Assets Under Management)	$ 138,164,967

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Jolie A. Bales

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ARTIENCE CAPITAL MANAGEMENT, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UST SECURITIES CORP.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

RFS PARTNERS

Primary Firm SEC Registration

ARTIENCE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/11/2005

Series 63

Date: 9/4/2003

Series 7

Date: 5/20/2005

Series 6

Date: 8/27/2003

Current Firm

ARTIENCE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARTIENCE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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